Seth Alexander Thompson

One Bryant Park, New York, NY 10036 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2019-12-17
CT	RA	APPROVED	2019-11-08

Branch Locations

No disclosure categories reported as “Yes” on this SEC record.

Organization	City	State	From	To
Purshe Kaplan Sterling Investments	Albany	NY	12/2017	12/2017
Fairview Farms Golf Course	Harwinton	CT	06/2016	09/2016
Global Spectrum (The Ryan Center)	Kingston	RI	01/2016	05/2017
Uri	Kingston	RI	09/2013	05/2017
Henkel	Rocky Hall	CT	06/2016	09/2016
Mcadam Llc	Boston	MA	09/2017	12/2017
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Westborough	MA	10/2019	Present
Bank Of America, N.A.	Westborough	MA	10/2019	Present
Td Bank	Belmont	MA	12/2017	10/2019
Fairview Farms Golf Course	Harwinton	CT	04/2013	08/2017

12/2017 → 12/2017

Purshe Kaplan Sterling Investments

Albany, NY
06/2016 → 09/2016

Fairview Farms Golf Course

Harwinton, CT
01/2016 → 05/2017

Global Spectrum (The Ryan Center)

Kingston, RI
09/2013 → 05/2017

Uri

Kingston, RI
06/2016 → 09/2016

Henkel

Rocky Hall, CT
09/2017 → 12/2017

Mcadam Llc

Boston, MA
10/2019 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Westborough, MA
10/2019 → Present

Bank Of America, N.A.

Westborough, MA
12/2017 → 10/2019

Td Bank

Belmont, MA
04/2013 → 08/2017

Fairview Farms Golf Course

Harwinton, CT

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2017-08-30
S63	Uniform Securities Agent State Law Examination	2017-08-05

Other Firms